FINRA Series 27 Financial Operations Principal

Job Summary

To support a growing Fintech startup, the remote FINRA Series 27 Financial Operations Principal will oversee financial and operational compliance with SEC regulations, manage financial reporting, and ensure regulatory adherence while collaborating with the CFO.

Key responsibilities

• Supervise and file FOCUS reports with FINRA and the SEC, ensuring compliance with net capital requirements
• Interpret and apply SEC and FINRA rules, maintaining compliance with recordkeeping and regulatory inquiries
• Design and maintain internal controls to safeguard assets and oversee operational processes related to clearing and settlement

Required qualifications

• Bachelor's degree in Accounting or Finance; CPA preferred
• Active FINRA Series 27 license
• 7+ years of relevant experience in self-clearing financial services
• Excellent data analysis and reporting skills
• Ability to adapt to a changing business and regulatory environment